Regulatory Spec III Job
Regulatory Spec III (Job Number: 1310171)
Description
A. Perform review and processing of required functions that support the USA Patriot Act and Regulatory/Compliance procedures for applicable areas of the organization. Maintain productivity and quality while ensuring customer satisfaction. Work under minimal supervision and select from verbal/written instructions and established procedures. Duties and tasks are routine in nature with intermediate judgment required. Develop a high understanding of general job aspects and a superficial understanding of the technical phases of the job. All job functions require a high degree of accuracy while insuring complete confidentiality. B. Perform detailed research, analysis and transaction tracking according to defined criteria designed to prevent and detect money laundering, financing for terrorist activity, evasion of certain regulatory requirements and other suspicious activity.
ORAL COMMUNICATION SKILLS: Provides or requests moderately complex information. Screens calls and responds to non-routine calls, makes proper referrals. Demonstrates appropriate team behaviors.
WRITTEN COMMUNICATION SKILLS: Edits basic reports or correspondence.
CLIENT CONTACTS: Maintains effective contacts at various levels in the organization. Begins to build external client contacts and is regularly available and responsive to their interpersonal and business needs.
LEADERSHIP: None
QUALITY: Errors have minor impact, but require additional work by the employee or others to fix. Errors may affect customer satisfaction, may cause delays in work schedules, and/or result in assigning new resources. Compiles information from a variety of sources; draws conclusions, troubleshoots equipment/processes, and provides oral reports to team members or supervision.
SUPERVISION RECEIVED: Works under general supervision. Provided detailed instructions on how to complete new assignments.
Qualifications
KNOWLEDGE: Demonstrates thorough understanding of primary duties and the skills required to accomplish them accurately and safely at a competent level.
EDUCATION: High school diploma or equivalent experience
JOB-RELATED EXPERIENCE: A minimum of two years
Primary Location: Wilmington, DE, US
Internal Jobcode: 30702
Job: Asset Servicing
Organization: GFI Client Service Delivery-HR08950
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